US Compliance & Surveillance Officer

Marex Group; Chicago (IL); On-site; USD 90,000 - 130,000; Full time

Job summary

Marex Group in Chicago, IL, is seeking a Compliance Officer to oversee US broker-dealer and FCM activities, focusing on surveillance, audits and policy implementation to protect Marex’s licenses and reputation.

You will monitor transactions, review alerts, coordinate with compliance and the business, and contribute to ongoing improvements in surveillance while staying current on regulator actions.

Qualifications

• Knowledge of US regulatory requirements pertinent to broker-dealers and US regulators.
• Experience with surveillance and audit processes in financial services.
• Strong communication and documentation skills.

Responsibilities

• Provide trade, E-communications, and voice surveillance review for US BD/FCM lines.
• Review alerts and escalate true positives with proper rationale.
• Produce surveillance metrics for the Head of US Surveillance.
• Coordinate with Compliance and business teams to improve processes.
• Maintain knowledge of regulator actions and industry developments.

Skills

Regulatory knowledge

Surveillance tools

Audit & review

US regulations

Education

Bachelor's degree

Tools

Surveillance software

OMS/EMS systems

Job description

Marex Group in Chicago, IL, is seeking a Compliance Officer to oversee US broker-dealer and FCM activities, focusing on surveillance, audits and policy implementation to protect Marex’s licenses and reputation.

You will monitor transactions, review alerts, coordinate with compliance and the business, and contribute to ongoing improvements in surveillance while staying current on regulator actions.